Methods for Obtaining a Successful SEC Examination Result

21/11/2013

A U.S. Securities and Exchange Commission (“SEC”) Examination is a highly stressful process for any investment adviser or fund manager. With especially targeted scrutiny by the SEC on the rise in recent years, it is especially important to ensure adequate preparation both prior to and during an SEC Examination. In this week’s issue of HFM Week, Director Douglas Shulman of Kinetic Partners’ regulatory compliance team discusses several key items of focus and best practices when going through an examination.

To read more about SEC Examinations and preparing your firm, please click here.